Saturday, March 23, 2019 11:38:17 AM
I can tell you for a fact that every tip complaint received is required by law to be looked at.
I can also tell you that the sec recommends filing a complaint for each infraction rather than saving up items for one all inclusive submittal.
Do not get discouraged by a lack of prompt action.
These investigations typically take an extended amount of time (YEARS) to conclude.
Botton line:
The SEC is not going to save any trader from their own stupidity.
They mop up the streets well after the blood letting has taken place and the crooks have moved on.
Officer and director bars a fine and disgorgement of ill gotten gains is about as good as can be expected.
DO FILE COMPLAINTS AS SUSPECTED INFRACTIONS VIOLATIONS OCCUR.
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